Last 12 months
Inside the activity.
2 purchase rows · 91 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 1 | 16 |
| Dec 2025 | 0 | 14 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 21 |
| Mar 2026 | 0 | 5 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 21 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 14 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC |
Long Suzette MCLO/General Counsel
|
Tax withholdingCommon Stock | 4,471 | $196.78 | $879,803.38 |
DisclosureSEC source: 0000018230-21-000057 · wf-form4_161307624623202.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC |
Long Suzette MCLO/General Counsel
|
GrantCommon Stock | 11,762 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000057 · wf-form4_161307624623202.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,311 Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 19,766 | $196.78 | $3,889,553.48 |
DisclosureSEC source: 0000018230-21-000058 · wf-form4_161307626917642.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,297 F3 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
GrantCommon Stock | 46,337 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000058 · wf-form4_161307626917642.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,063 Read SEC document |
| February 02, 2021 Filed Feb 3, 2021 21:17 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 4,018 | $74.77 Strike: $74.77 | $300,425.86 |
DisclosureSEC source: 0000018230-21-000028 · wf-form4_161238704150497.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,019 Underlying: Common Stock · 4,018 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 02, 2021 Filed Feb 3, 2021 21:17 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 4,018 | $190.76 | $766,473.68 |
DisclosureSEC source: 0000018230-21-000028 · wf-form4_161238704150497.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 02, 2021 Filed Feb 3, 2021 21:17 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionCommon Stock | 4,018 | $74.77 | $300,425.86 |
DisclosureSEC source: 0000018230-21-000028 · wf-form4_161238704150497.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,018 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 21, 2021 Filed Jan 25, 2021 23:38 UTC |
Ainsworth William PGroup Pres. thru 12/31/2020 · Retired
|
GiftCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000017 · wf-form4_161161792557181.xml · nonDerivative · entry 2 Ainsworth William P · CIK 0001768624 · Group Pres. thru 12/31/2020 · Retired 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,501 Read SEC document |
| December 31, 2020 Filed Jan 4, 2021 22:46 UTC |
CALHOUN DAVID LDirector
|
GrantPhantom Stock Units · Derivative | 305 | $180.43 | $55,031.15 |
DisclosureSEC source: 0000018230-21-000006 · wf-form4_160980037083851.xml · derivative · entry 1 CALHOUN DAVID L · CIK 0001233152 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,573 Underlying: Common Stock · 305 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2020 Filed Jan 4, 2021 22:46 UTC |
GALLARDO JUANDirector
|
GrantPhantom Stock Units · Derivative | 208 | $180.43 | $37,529.44 |
DisclosureSEC source: 0000018230-21-000007 · wf-form4_160980038590313.xml · derivative · entry 1 GALLARDO JUAN · CIK 0001173956 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,079 Underlying: Common Stock · 208 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2020 Filed Jan 4, 2021 22:46 UTC |
SCHWAB SUSAN CDirector
|
GrantPhantom Stock Units · Derivative | 208 | $180.43 | $37,529.44 |
DisclosureSEC source: 0000018230-21-000008 · wf-form4_160980040569698.xml · derivative · entry 1 SCHWAB SUSAN C · CIK 0001202958 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,331 Underlying: Common Stock · 208 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 31, 2020 Filed Jan 4, 2021 22:47 UTC |
WHITE MILES DDirector
|
GrantPhantom Stock Units · Derivative | 242 | $180.43 | $43,664.06 |
DisclosureSEC source: 0000018230-21-000009 · wf-form4_160980042068140.xml · derivative · entry 1 WHITE MILES D · CIK 0001239129 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,368 Underlying: Common Stock · 242 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: Phantom stock units awarded or acquired in lieu of director cash compensation. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes adjustments for dividends accrued. Read SEC document |
| December 30, 2020 Filed Feb 11, 2021 20:44 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
GiftCommon Stock | 59,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000058 · wf-form4_161307626917642.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,726 F1 · kind: Gift of shares to an irrevocable trust of which a member of the reporting person's immediate family serves as trustee and of which the reporting person's descendants are beneficiaries. F2 · balance_after: Reflects transfer of 2,500 shares on December 7, 2020. This transfer was exempt from reporting pursuant to Rule 16a-13 under the Act. Read SEC document |
| December 23, 2020 Filed Dec 28, 2020 16:50 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 46 | $178.42 | $8,207.32 |
DisclosureSEC source: 0000018230-20-000329 · wf-form4_160917422425650.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,040 Underlying: Common Stock · 46 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 23 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $178.42 and 23 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| December 23, 2020 Filed Dec 28, 2020 16:50 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 43 | $178.42 | $7,672.06 |
DisclosureSEC source: 0000018230-20-000328 · wf-form4_160917420116353.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,576 Underlying: Common Stock · 43 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $178.42 and 21shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units were acquired under the Caterpillar Inc. Director's Deferred Compensation Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| December 16, 2020 Filed Jan 25, 2021 23:38 UTC |
Ainsworth William PGroup Pres. thru 12/31/2020 · Retired
|
GiftCommon Stock | 500 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000017 · wf-form4_161161792557181.xml · nonDerivative · entry 1 Ainsworth William P · CIK 0001768624 · Group Pres. thru 12/31/2020 · Retired 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,001 Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 13:27 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 2,318 | $83.00 Strike: $83.00 | $192,394.00 |
DisclosureSEC source: 0000018230-20-000323 · wf-form4_160743401937492.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,318 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 13:27 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 2,318 | $179.50 | $416,081.00 |
DisclosureSEC source: 0000018230-20-000323 · wf-form4_160743401937492.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 04, 2020 Filed Dec 8, 2020 13:27 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionCommon Stock | 2,318 | $83.00 | $192,394.00 |
DisclosureSEC source: 0000018230-20-000323 · wf-form4_160743401937492.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,318 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 14:31 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionEmployee Stock Options · Derivative | 4,634 | $83.00 Strike: $83.00 | $384,622.00 |
DisclosureSEC source: 0000018230-20-000321 · wf-form4_160709228682120.xml · derivative · entry 4 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,318 Underlying: Common Stock · 4,634 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 14:31 UTC |
Marvel Gary MichaelChief Accounting Officer
|
SaleCommon Stock | 4,634 | $173.26 | $802,886.84 |
DisclosureSEC source: 0000018230-20-000321 · wf-form4_160709228682120.xml · nonDerivative · entry 2 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 14:31 UTC |
Marvel Gary MichaelChief Accounting Officer
|
Exercise / conversionCommon Stock | 4,634 | $83.00 | $384,622.00 |
DisclosureSEC source: 0000018230-20-000321 · wf-form4_160709228682120.xml · nonDerivative · entry 1 Marvel Gary Michael · CIK 0001768626 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,634 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 22:09 UTC |
De Lange BobGroup President
|
GrantPhantom Stock Units · Derivative | 44 | $174.63 | $7,683.72 |
DisclosureSEC source: 0000018230-20-000318 · wf-form4_160677415373827.xml · derivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,664 Underlying: Common Stock · 44 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 22 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $174.63 and 22 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 25, 2020 Filed Nov 30, 2020 22:09 UTC |
Johnson Denise CGroup President
|
GrantPhantom Stock Units · Derivative | 47 | $174.63 | $8,207.61 |
DisclosureSEC source: 0000018230-20-000319 · wf-form4_160677416910917.xml · derivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,518 Underlying: Common Stock · 47 shares Expires not disclosed F1 · derivative.exercise_price: Each phantom stock unit under the company's non-qualified deferred compensation plans as reported is generally the economic equivalent of one share of Caterpillar Inc. common stock. F2 · shares: This total includes 24 shares that were credited to the reporting person's account under the Supplemental Deferred Compensation Plan (the "Plan") at a price per share of $174.63 and 23 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration. F3 · derivative.exercise_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F3 · derivative.expiration_date: The phantom stock units are to be settled 100% in cash upon the reporting person's retirement or separation from service. F4 · balance_after: Includes dividends accrued. Moreover, phantom stock units represent interests in an unfunded unitized company stock fund comprised of stock and cash, and therefore the number of phantom stock units the reporting person is deemed to own may change between any given dates due to differences in the percentages of cash and stock in the unitized fund on those dates. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 22:42 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionEmployee Stock Options · Derivative | 214,370 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000315 · wf-form4_160634415166156.xml · derivative · entry 7 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 214,370 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 22:42 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 159,572 | $176.80 | $28,212,329.60 |
DisclosureSEC source: 0000018230-20-000315 · wf-form4_160634415166156.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,226 Read SEC document |
| November 24, 2020 Filed Nov 25, 2020 22:42 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 214,370 | $95.66 | $20,506,634.20 |
DisclosureSEC source: 0000018230-20-000315 · wf-form4_160634415166156.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,798 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 21:11 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 3,295 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-20-000306 · wf-form4_160504268591446.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,295 shares Expires 2024-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 21:11 UTC |
De Lange BobGroup President
|
Tax withholdingCommon Stock | 2,476 | $173.90 | $430,576.40 |
DisclosureSEC source: 0000018230-20-000306 · wf-form4_160504268591446.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,623 Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 21:11 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 3,295 | $96.31 | $317,341.45 |
DisclosureSEC source: 0000018230-20-000306 · wf-form4_160504268591446.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,099 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 18,013 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · derivative · entry 6 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,025 Underlying: Common Stock · 18,013 shares Expires 2029-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC |
Johnson Denise CGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 37,527 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · derivative · entry 5 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,763 Underlying: Common Stock · 37,527 shares Expires 2028-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC |
Johnson Denise CGroup President
|
SaleCommon Stock | 8,894 | $175.00 | $1,556,450.00 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · nonDerivative · entry 4 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,396 Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC |
Johnson Denise CGroup President
|
Tax withholdingCommon Stock | 46,646 | $175.00 | $8,163,050.00 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · nonDerivative · entry 3 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,290 Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 18,013 | $138.35 | $2,492,098.55 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · nonDerivative · entry 2 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,936 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 09, 2020 Filed Nov 10, 2020 23:48 UTC |
Johnson Denise CGroup President
|
Exercise / conversionCommon Stock | 37,527 | $151.12 | $5,671,080.24 |
DisclosureSEC source: 0000018230-20-000307 · wf-form4_160505211020626.xml · nonDerivative · entry 1 Johnson Denise C · CIK 0001608229 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,923 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 05, 2020 Filed Nov 6, 2020 19:26 UTC |
De Lange BobGroup President
|
Exercise / conversionEmployee Stock Option · Derivative | 2,500 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-20-000303 · wf-form4_160469079151820.xml · derivative · entry 3 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,295 Underlying: Common Stock · 2,500 shares Expires 2024-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 05, 2020 Filed Nov 6, 2020 19:26 UTC |
De Lange BobGroup President
|
SaleCommon Stock | 2,500 | $164.76 | $411,900.00 |
DisclosureSEC source: 0000018230-20-000303 · wf-form4_160469079151820.xml · nonDerivative · entry 2 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,804 Read SEC document |
| November 05, 2020 Filed Nov 6, 2020 19:26 UTC |
De Lange BobGroup President
|
Exercise / conversionCommon Stock | 2,500 | $96.31 | $240,775.00 |
DisclosureSEC source: 0000018230-20-000303 · wf-form4_160469079151820.xml · nonDerivative · entry 1 De Lange Bob · CIK 0001694342 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,304 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionEmployee Stock Option · Derivative | 114,049 | $0.00 Strike: $74.77 | $0.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · derivative · entry 13 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 114,049 shares Expires 2026-03-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 7, 2016 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionEmployee Stock Options · Derivative | 172,621 | $0.00 Strike: $83.00 | $0.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · derivative · entry 12 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 172,621 shares Expires 2025-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2015 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionEmployee Stock Options · Derivative | 85,606 | $0.00 Strike: $96.31 | $0.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · derivative · entry 11 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 85,606 shares Expires 2024-03-03 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 78,992 | $166.84 | $13,179,025.28 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 6 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,428 Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 114,049 | $74.77 | $8,527,443.73 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 5 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,420 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 124,329 | $166.75 | $20,731,860.75 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 4 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,371 Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 172,621 | $83.00 | $14,327,543.00 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 3 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,700 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 65,528 | $166.36 | $10,901,238.08 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 2 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,079 Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 15:19 UTC |
Umpleby III Donald JDirector · Chairman & CEO
|
Exercise / conversionCommon Stock | 85,606 | $96.31 | $8,244,713.86 |
DisclosureSEC source: 0000018230-20-000301 · wf-form4_160458954998133.xml · nonDerivative · entry 1 Umpleby III Donald J · CIK 0001566320 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,607 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 20:27 UTC |
Younessi RaminGroup President
|
Exercise / conversionEmployee Stock Options · Derivative | 13,135 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-20-000299 · wf-form4_160452161910456.xml · derivative · entry 3 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,567 Underlying: Common Stock · 13,135 shares Expires 2028-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 20:27 UTC |
Younessi RaminGroup President
|
SaleCommon Stock | 13,135 | $162.49 | $2,134,306.15 |
DisclosureSEC source: 0000018230-20-000299 · wf-form4_160452161910456.xml · nonDerivative · entry 2 Younessi Ramin · CIK 0001743079 · Group President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,177 F1 · price: This transaction was executed in multiple trades at prices ranging from $162.42 to $162.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.